NOTICE OF DISCIPLINARY ACTION

536. RECORD KEEPING REQUIREMENTS FOR PIT, GLOBEX, AND NEGOTIATED TRADES

D. Customer Type Indicator (CTI) Codes (in part)

Each clearing member must identify each transaction executed on the trading floor or on the Globex platform on the record of transactions submitted to the Exchange with the correct customer type indicator (CTI) code.

FINDINGS:

Pursuant to an offer of settlement in which ABN AMRO Clearing Chicago LLC (“AACC”) neither admitted nor denied the rule violations upon which the penalty is based, on May 28, 2014, a Panel of the CME Business Conduct Committee found that during the time periods of July 2, 2012, through July 16, 2012; April 1, 2013, through April 30, 2013; and October 1, 2013, through October 31, 2013, AACC submitted incorrect CTI codes for numerous trades executed on the Exchange.

The Panel concluded that AACC violated CME Rule 536.D.

PENALTY:

In accordance with the settlement offer, the Panel ordered AACC to pay a fine of $7,700.

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CME Group is the world's leading and most diverse derivatives marketplace. The company is comprised of four Designated Contract Markets (DCMs). Further information on each exchange's rules and product listings can be found by clicking on the links to CME, CBOT, NYMEX and COMEX.